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15 U.S.C. § 7265 — Exemption
Federal law — U.S. Code and appendices · legal_authorities
Nothing in section 401, 402, or 404, the amendments made by those sections, or the rules of the Commission under those sections shall apply to any investment company registered under [section 80a–8 of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title15-section80a-8&num=0&edition=prelim).
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Stable record: federal_law:legal_authorities:record_usc_6761c09ecf9c4caae832fbc9
Source file: Laws/federal/codes/united-states-code/title-15/section-7265-exemption--d3aeb9422c.md
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Source location: Title 15, Chapter 98, § 7265; chapter-098-public-company-accounting-reform-and-corporate-responsibility.md
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Nothing in section 401, 402, or 404, the amendments made by those sections, or the rules of the Commission under those sections shall apply to any investment company registered under [section 80a–8 of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title15-section80a-8&num=0&edition=prelim).
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Federal law — U.S. Code and appendices · legal_authorities
**(a) Civil penalties to be used for the relief of victims** If, in any judicial or administrative action brought by the Commission under the securities laws, the Commission obtains a civil penalty against any person for a violation of such laws, or such person agrees, in settlement of any such action, to such civil penalty, the amount of such civil penalty shall, on the motion or at the direction of the Commission, be added to and become part of a disgorgement fund or other fund established for the benefit of the victims of such violation.
**(b) Acceptance of additional donations** The Commission is authorized to accept, hold, administer, and utilize gifts, bequests and devises of property, both real and personal, to the United States for a disgorgement fund or other fund described in subsection (a). Such gifts, bequests, and devises of money and proceeds from sales of other property received as gifts, bequests, or devises shall be deposited in such fund and shall be available for allocation in accordance with subsection (a).
**(c) Study required**
(1) **Subject of study** — The Commission shall review and analyze—
(A) enforcement actions by the Commission over the five years preceding July 30, 2002, that have included proceedings to obtain civil penalties or disgorgements to identify areas where such proceedings may be utilized to efficiently, effectively, and fairly provide restitution for injured investors; and
(B) other methods to more efficiently, effectively, and fairly provide restitution to injured investors, including methods to improve the collection rates for civil penalties and disgorgements.
(2) **Report required** — The Commission shall report its findings to the Committee on Financial Services of the House of Representatives and the Committee o
Source: Supplied U.S. Code snapshot — release unconfirmed · 15 U.S.C. § 7262
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Federal law — U.S. Code and appendices · legal_authorities
**(a) Reports by issuer of security; contents** Every issuer of a security registered pursuant to section 78l of this title shall file with the Commission, in accordance with such rules and regulations as the Commission may prescribe as necessary or appropriate for the proper protection of investors and to insure fair dealing in the security—
(1) such information and documents (and such copies thereof) as the Commission shall require to keep reasonably current the information and documents required to be included in or filed with an application or registration statement filed pursuant to section 78l of this title, except that the Commission may not require the filing of any material contract wholly executed before July 1, 1962.
(2) such annual reports (and such copies thereof), certified if required by the rules and regulations of the Commission by independent public accountants, and such quarterly reports (and such copies thereof), as the Commission may prescribe.
Every issuer of a security registered on a national securities exchange shall also file a duplicate original of such information, documents, and reports with the exchange. In any registration statement, periodic report, or other reports to be filed with the Commission, an emerging growth company need not present selected financial data in accordance with section 229.301 of title 17, Code of Federal Regulations, for any period prior to the earliest audited period presented in connection with its first registration statement that became effective under this chapter or the Securities Act of 1933 [[15 U.S.C. 77a](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title15-section77a&num=0&edition=prelim) et seq.] and, with respect to any such statement or reports, an emerging growth company may not be
Source: Supplied U.S. Code snapshot — release unconfirmed · 15 U.S.C. § 78m
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Federal law — U.S. Code and appendices · legal_authorities
Not later than 180 days after July 30, 2002, the Commission shall issue rules, in the public interest and for the protection of investors, setting forth minimum standards of professional conduct for attorneys appearing and practicing before the Commission in any way in the representation of issuers, including a rule—
(1) requiring an attorney to report evidence of a material violation of securities law or breach of fiduciary duty or similar violation by the company or any agent thereof, to the chief legal counsel or the chief executive officer of the company (or the equivalent thereof); and
(2) if the counsel or officer does not appropriately respond to the evidence (adopting, as necessary, appropriate remedial measures or sanctions with respect to the violation), requiring the attorney to report the evidence to the audit committee of the board of directors of the issuer or to another committee of the board of directors comprised solely of directors not employed directly or indirectly by the issuer, or to the board of directors.
Source: Supplied U.S. Code snapshot — release unconfirmed · 15 U.S.C. § 7261
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Federal law — U.S. Code and appendices · legal_authorities
**(a) Short title** This section may be cited as the “Travel Promotion Act of 2009”.
**(b) The Corporation for Travel Promotion**
(1) **Establishment** — The Corporation for Travel Promotion is established as a nonprofit corporation. The Corporation shall not be an agency or establishment of the United States Government. The Corporation shall be subject to the provisions of the District of Columbia Nonprofit Corporation Act (D.C. Code, section 29–1001 et seq.), to the extent that such provisions are consistent with this subsection, and shall have the powers conferred upon a nonprofit corporation by that Act to carry out its purposes and activities.
(2) **Board of directors**
(A) *In general* — The Corporation shall have a board of directors of 11 members with knowledge of international travel promotion or marketing, broadly representing various regions of the United States, who are United States citizens. At least 5 members of the board shall have experience working in United States multinational entities with marketing budgets. At least 2 members of the board shall be audit committee financial experts (as defined by the Securities and Exchange Commission in accordance with [section 7265 of title 15](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title15-section7265&num=0&edition=prelim)). All members of the board shall be a current or former chief executive officer, chief financial officer, or chief marketing officer, or have held an equivalent management position. Members of the board shall be appointed by the Secretary of Commerce (after consultation with the Secretary of Homeland Security and the Secretary of State), as follows:
(i) 1 shall have appropriate expertise and experience in the hotel accommodations sector;
(ii) 1 shall have a
Source: Supplied U.S. Code snapshot — release unconfirmed · 22 U.S.C. § 2131
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Federal law — U.S. Code and appendices · legal_authorities
Page 2342
TITLE 15—COMMERCE AND TRADE
§ 7263
4 of Pub. L. 111–203, set out as an Effective Date note
under section 5301 of Title 12, Banks and Banking.
§ 7263. Exemption
Nothing in section 401, 402, or 404, the amend-
ments made by those sections, or the rules of
the Commission under those sections shall apply
to any investment company registered under
section 80a–8 of this title.
(Pub. L. 107–204, title IV, § 405, July 30, 2002, 116
Stat. 789.)
Editorial Notes
REFERENCES IN TEXT
Sections 401, 402, and 404, referred to in text, mean
sections 401, 402, and 404 of Pub. L. 107–204. Section 401
enacted section 7261 of this title and amended section
78m of this title. Section 402 amended section 78m of
this title. Section 404 enacted section 7262 of this title.
§ 7264. Code of ethics for senior financial officers
(a) Code of ethics disclosure
The Commission shall issue rules to require
each issuer, together with periodic reports re-
quired pursuant to section 78m(a) or 78o(d) of
this title, to disclose whether or not, and if not,
the reason therefor, such issuer has adopted a
code of ethics for senior financial officers, appli-
cable to its principal financial officer and comp-
troller or principal accounting officer, or per-
sons performing similar functions.
(b) Changes in codes of ethics
The Commission shall revise its regulations
concerning matters requiring prompt disclosure
on Form 8–K (or any successor thereto) to re-
quire the immediate disclosure, by means of the
filing of such form, dissemination by the Inter-
net or by other electronic means, by any issuer
of any change in or waiver of the code of ethics
for senior financial officers.
(c) Definition
In this section, the term ‘‘code of ethics’’
means such standards as are reasonably n
Source: Supplied 2024 U.S. Code historical extraction · 15 U.S.C. § 7265
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